Caruso Family Financial Advisors (CFFA) LLC
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About
The firm advises individuals (including high‑net‑worth households), pension and profit‑sharing plans, charitable organizations, and business entities, providing ongoing portfolio management and pension consulting services. It prepares individualized investment policy statements and manages accounts on both a discretionary and non‑discretionary basis for a client base of roughly 50 clients with about $24.5 million in assets under management.
CFFA employs a mix of analytical approaches — charting, cyclical, fundamental, modern portfolio theory, quantitative and technical analysis — and implements long‑term, short‑term and options strategies, including covered and uncovered options. The firm typically allocates among mutual funds, ETFs (including precious‑metals ETFs), REITs, annuities and inflation‑linked bonds and may use model allocations together with client‑specific recommendations tied to each client’s risk tolerance and time horizon.
Noteworthy distinctions include the availability of performance‑based fee arrangements for qualified clients that incorporate a hurdle and a high‑water‑mark mechanism, a feature that is uncommon among similar supported firms. The firm also requires clients to custody assets at specified platforms (MoneyBlock and Charles Schwab Advisor Services) and discloses adviser registration as broker‑dealer representatives, insurance licensing, and certain family members’ outside business activities as potential conflicts that it documents for clients.
Client services
Expertise
Fee options
Compensation received for sale of investment products including asset-based sales charges or service fees from mutual funds; commissions from broker-dealer activities.
Annual management fee of 2.00% of assets under management plus 20.00% performance fee on capital appreciation with an 8% annual hurdle rate and high water mark.
Main office
See office4990 Speak Lane, Suite 280
San Jose CA 95118
Advisors at this office
1
Offices (2)
Most active in
California · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Marialisa C
Series 65
San Jose, CA
Caruso Family Financial Advisors (CFFA) LLC
Marialisa Caruso is a financial advisor at Caruso Family Financial Advisors (CFFA) LLC in San Jose, CA, with five years of industry experience. She holds the Series 65 designation and has been with CFFA since 2020. Outside of her advisory role, she works as a model and actress with Halvorson Model Management and serves as a front desk and bridal consultant at Trudys Brides and Special Occasions. Caruso Family Financial Advisors provides portfolio management and pension consulting to individuals, pension and profit-sharing plans, charitable organizations, and business entities. The firm manages approximately $15.4 million across about 50 client accounts, using a combination of fundamental, quantitative, technical, and modern portfolio theory analyses to guide discretionary asset allocation and offers performance-based fee arrangements for qualified clients.
Anthony C
Series 66
San Jose, CA
Caruso Family Financial Advisors (CFFA) LLC
Anthony Caruso is a financial advisor with Caruso Family Financial Advisors (CFFA) LLC in San Jose, CA. He holds a Series 66 designation and has 14 years of industry experience. Caruso has previously worked at Lightpath Capital, Inc., Whitehall-Parker Securities, Inc., and The Taylor Advisory Group, among other firms. He serves as CEO and CCO of CFFA. Caruso Family Financial Advisors provides portfolio management and pension consulting services to individuals, pension and profit-sharing plans, charitable organizations, and business entities. The firm uses a variety of analytical approaches and strategies, including options trading, and manages approximately $24.5 million in assets for about 50 clients.
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